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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC2 years Filed as: UBS FINANCIAL SERVICES, INC. Service code 99 · EIN 13-2638166 | Other Fees | $28,707 |
ACUFF & ASSOCIATES, INC.2 years Service code 49 · EIN 62-1477251 | Other Services | $6,536 |
Filed as: VOYA RET. INS. AND ANNUITY CO Service code 26 · EIN 71-0294708 | Advisory (Participants) | $1,162 |
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Annual investment return is in the bottom quintile of the peer cohort.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Auditor declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $49,152 | $62,672-21.6% | $185,117-73.4% | $70,131-29.9% |
| Participation rate | 93.7% | 63.8%+29.9pp | 77.3%+16.4pp | 69.5%+24.1pp |
| Annual return | 12.38% | 40.79%-28.4pp | 40.50%-28.1pp | 73.14%-60.8pp |
| Employer contribution / active EE | $0 | $1,753-100.0% | $4,182-100.0% | $2,342-100.0% |
| Participant deferral / active EE | $2,449 | $3,272-25.2% | $5,045-51.5% | $3,332-26.5% |
| Admin fee / account holder | $302 | $3,932-92.3% | $8,159-96.3% | $4,645-93.5% |